Amar K. Goel - Mar 30, 2021 Form 4 Insider Report for PubMatic, Inc. (PUBM)

Role
Chief Innovation Officer, Director, 10%+ Owner
Signature
/s/ Thomas Chow, Attorney-in-Fact
Stock symbol
PUBM
Transactions as of
Mar 30, 2021
Transactions value $
-$880,000
Form type
4
Date filed
6/28/2021, 04:46 PM
Next filing
Jul 2, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PUBM Class A Common Stock Conversion of derivative security $0 +8K $0.00 8K Jun 24, 2021 By Birchwood Trust F1
transaction PUBM Class A Common Stock Sale -$320K -8K -100% $40.00 0 Jun 24, 2021 By Birchwood Trust F1, F2
transaction PUBM Class A Common Stock Conversion of derivative security $0 +5K $0.00 5K Jun 24, 2021 By Tuscan Irrevocable Trust F3
transaction PUBM Class A Common Stock Sale -$200K -5K -100% $40.00 0 Jun 24, 2021 By Tuscan Irrevocable Trust F3, F4
transaction PUBM Class A Common Stock Conversion of derivative security $0 +5K $0.00 5K Jun 24, 2021 By Marais Irrevocable Trust F5
transaction PUBM Class A Common Stock Sale -$200K -5K -100% $40.00 0 Jun 24, 2021 By Marais Irrevocable Trust F5, F6
transaction PUBM Class A Common Stock Conversion of derivative security $0 +2K $0.00 2K Jun 24, 2021 By RAJN Trust - A F7
transaction PUBM Class A Common Stock Sale -$80K -2K -100% $40.00 0 Jun 24, 2021 By RAJN Trust - A F7, F8
transaction PUBM Class A Common Stock Conversion of derivative security $0 +2K $0.00 2K Jun 24, 2021 By RAJN Trust - N F9
transaction PUBM Class A Common Stock Sale -$80K -2K -100% $40.00 0 Jun 24, 2021 By RAJN Trust - N F9, F10

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction PUBM Class B Common Stock Conversion of derivative security $0 -8K -0.55% $0.00 1.44M Jun 24, 2021 Class A Common Stock 8K By Birchwood Trust F1, F11
transaction PUBM Class B Common Stock Conversion of derivative security $0 -5K -0.5% $0.00 995K Jun 24, 2021 Class A Common Stock 5K By Tuscan Irrevocable Trust F3, F11
transaction PUBM Class B Common Stock Conversion of derivative security $0 -5K -0.5% $0.00 995K Jun 24, 2021 Class A Common Stock 5K By Marais Irrevocable Trust F5, F11
transaction PUBM Class B Common Stock Other $0 -1.32M -100% $0.00* 0 Mar 30, 2021 Class A Common Stock 1.32M By RAJN Trust F11, F12, F13
transaction PUBM Class B Common Stock Other $0 +661K $0.00 661K Mar 30, 2021 Class A Common Stock 661K By RAJN Trust - A F7, F11, F12
transaction PUBM Class B Common Stock Other $0 +661K $0.00 661K Mar 30, 2021 Class A Common Stock 661K By RAJN Trust - N F9, F11, F12
transaction PUBM Class B Common Stock Conversion of derivative security $0 -2K -0.3% $0.00 659K Jun 24, 2021 Class A Common Stock 2K By RAJN Trust - A F7, F11
transaction PUBM Class B Common Stock Conversion of derivative security $0 -2K -0.3% $0.00 659K Jun 24, 2021 Class A Common Stock 2K By RAJN Trust - N F9, F11
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These shares are held by the Birchwood Trust, of which the Reporting Person and his spouse are beneficiaries.
F2 The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Birchwood Trust on March 4, 2021.
F3 These shares are held by the Tuscan Irrevocable Trust, of which the Reporting Person is a beneficiary.
F4 The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Tuscan Irrevocable Trust on March 4, 2021.
F5 These shares are held by the Marais Irrevocable Trust, of which the Reporting Person's spouse is a beneficiary. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
F6 The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Marais Irrevocable Trust on March 4, 2021.
F7 These shares are held by the RAJN Trust-A, of which one of the Reporting Person's children is a beneficiary. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
F8 The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the RAJN Trust-A on March 4, 2021.
F9 These shares are held by the RAJN Trust-N, of which one of the Reporting Person's children is a beneficiary. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.
F10 The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the RAJN Trust-N on March 4, 2021.
F11 Each share of Class B common stock held by the Issuer's executive officers, directors and their respective affiliates will convert automatically into one share of Class A common stock upon any transfer, except for certain permitted transfers.
F12 On March 30, 2021, the RAJN Trust distributed 660,652 shares of the Issuer's Class B common stock to the RAJN Trust-A and 660,652 shares of the Issuer's Class B common stock to the RAJN Trust-N.
F13 These shares were held by the RAJN Trust, of which the Reporting Person's children were beneficiaries. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, if any, and the filing of this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.